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Guidelines for Formulating Authorities for Archival Collections*

A More Product, Less Process Approach

 

Excerpt
Guidelines for Department of Distinctive Collections staff using ArchivesSpace to add Library of Congress Subject Headings, Form/Genre terms, and Agents to records for archival collections.

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Overview

The Department of Distinctive Collections uses a number of controlled vocabularies to describe archival collections. For most topical subjects, use Library of Congress Subject Headings (LCSH). To describe functions and topics specific to the Institute and other colleges and universities, use the Thesaurus for Use in College and University Archives (TUCUA). When describing forms and genres, the preferred vocabulary is the Getty Art & Architecture Thesaurus (AAT). The Virtual International Name Authority (VIAF) should be consulted for name forms. If a name form cannot be found in VIAF – Social Networks and Archival Context (SNAC), Wikidata, the Union List of Artist Names (ULAN) or the British Book Trade Index may be used.

Subjects

LCSH Syntax

Headings in LCSH are usually created by adding subdivisions to a main element. Section H 1075 of the Library of Congress Subject Headings Manualspells out the basic syntax that governs the four types of subdivisions in LCSH: topical, geographic, temporal, and form/genre. There are two basic patterns for combining headings with subdivisions: [Place]—[Topic] and [Topic]—[Place]. Most—but not all—topical terms may be subdivided by place. When in doubt, consult the printed LCSH list, which specifies whether a term may or may not be subdivided geographically (this information may also appear in the 06 position of an authority record’s MARC 008 field, but the printed list seems to be more reliable).

 

The pattern for [Place]—[Topic] headings is usually [Place]—[Topic]—[Temporal period]—[Form/Genre]. For example:

United States—Social conditions—1980—Juvenile literature


The pattern for [Topic]—[Place] headings is usually one of the following: [Topic]—[Place]—[Topic]—[Temporal period]—[Form/Genre] or else [Topic]—[Topic]—[Place]—[Temporal period]—[Form/Genre]. For example:

Education—United States—History—19th centuryPeriodicals

Tuberculosis—Patients—Massachusetts—History—20th centuryBibliography


These examples are provided only to illustrate proper LCSH syntax. As stated under “Local best practices,” below, actual collection-level headings should generally not be this complex. For example, United States—Social conditions, Education—United States,or Tuberculosis—Massachusetts would be appropriate headings by themselves.

The use of genre terms such as Periodicals and Bibliography is also addressed under “Local best practices.”

Guidelines for Description

The Subject Headings Manual provides the following general guidance (based on LC practice) for judging how many headings to include in a record. These are general guidelines that should be adapted to local requirements.

Assign to the work being cataloged one or more subject headings that best summarize the overall contents of the work and provide access to its most important topics. Assign headings only for topics that comprise at least 20% of the work. [. . .] The number of headings that are required varies with the work being cataloged. Sometimes one heading is sufficient. Generally a maximum of six is appropriate. In special situations more headings may be required. Do not assign more than ten headings to a work. (H 180)

In assigning subject headings, it is helpful to keep the following basic questions in mind:

WHAT?

What is this collection about? Try to be as precise as you can and avoid including subject headings for everything. If you had to describe the collection in a few words, what would they be? Think of access points that will be beneficial to researchers and that will connect them to other collections with the same subject headings.

What physical form do the materials take (clippings, photographs, audiocassettes)? Do they represent a particular genre or type of resource (letters, government records, reports)?

WHO?Who is this collection primarily about? Who are the primary contributors or historically significant people represented in this collection?
WHERE?What geographic locations are prominently featured in this collection? Does this collection relate to a specific country, city, town, or landmark? Or did the creator do a lot of work in a specific place that is well represented in the materials?
WHEN?Does this collection document a specific period in history, e.g., a war or conflict, or a specific governmental administration? 

 

Local Best Practices

The following list of local best practices addresses specific requirements for adding or creating subject headings in ArchivesSpace.

1.   Keep subject headings to two subdivisions or fewer whenever possible. 

For our archival records, the degree of specificity that LCSH allows for is usually not necessary—in fact, it may even be a hindrance to discovery and retrieval. For our purposes, a “lite” approach to LCSH seems preferable, using it more as a set of keywords than as a system for synthesizing complex pre coordinate headings. At the same time, it is still important to follow LCSH guidelines in order to ensure internal consistency and interoperability with other institutions.

 

2.   Keep genre/form headings separate from subject headings.

The Encoded Archival Description (EAD) contains a separate <genreform> element to identify “the types of material being described, by naming the style or technique of their intellectual content (genre); order of information or object function (form); and physical characteristics.”

Form/genre terms should be assigned as standalone headings using an appropriate controlled vocabulary or thesaurus. The current default thesaurus to be used for form/genre terms is the Art and Architecture Thesaurus (AAT). However, when necessary, terms may also be drawn from other thesauri, including the Thesaurus for Graphic Materials (TGM) or the Genre Terms Thesaurus of the ALA Rare Books and Manuscripts Section (RBMS).

For example, for a collection containing letters from Emily L. Wick, the personal name heading Emily L. Wick— as established in the Library of Congress Name Authority File—should be entered by itself. It should not be followed by the LCSH subdivision —Correspondence. Instead, the genre term Correspondence, taken from AAT, should be entered as a standalone heading.

However, for photographic or general image collections representing a particular place (for example, Cambridge (Mass.) or Massachusetts Institute of Technology), a heading with the LCSH subdivision —Pictorial works should be assigned. Specific form/genre terms should also be added to reflect the different types of materials in the collection (e.g., Photographs, Aerial photographs, Slides, Postcards).

 

3.   The creator of a collection should also be added as a subject.

Add the creator of a collection as a name heading (agent), unless they only served as a compiler.

 

4.   Avoid temporal subdivisions unless they are vital to discovery.

Temporal subdivisions may be used to describe specific events such as wars, conflicts, or revolutions:  United States—History—Civil War, 1861-1865—Sources

Temporal subdivisions may be used to facilitate research on particular historical events or political periods in the US. For example:

United States—Politics and government—1969-1974

United States—Economic conditions—1918-1945


5.   Avoid using the subdivision —History by itself.

It can usually be assumed that archival collections contain material that has historical value or interest. Instead of assigning subject headings of the form [Main heading]—History, look for other subdivisions that will provide a more specific description of a collection’s content. See the list of topical subdivisions, below, for some commonly used terms.

In LCSH syntax, temporal subdivisions usually cannot follow a main heading directly (except for certain cases such as those involving art and literature). When a collection focuses on a particular historical period or event, the —History subdivision may be used to link a main heading to a temporal subdivision. For archival material, headings with —History should be followed by the subdivision —Sources.

For example:  Cambridge (Mass.)—History—Sources. The subdivision —Sources is needed when the materials being described are primary (archival) sources. Without the Sources subdivision, headings with History would apply only to works of history or historiography (secondary sources). Please note, this is the only time we recommend the use of History.

 

6.   Avoid adding temporal subdivisions for centuries.

For example, use United States—Social conditions rather than United States—Social conditions—20th century

 

7.   Avoid using broad geographic headings by themselves.

Headings for places at or above the country level should be subdivided by topic. For example, United States or North America should not be used as stand-alone headings. See section on Geographic Headings.

 

8.   Make sure all subject headings are relevant to the broad themes of the collection.

Subject Guides

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* Modeled after the guide: Matt Thompson, Matt Carruthers, and Natalie Baur, “Guidelines for Formulating Subject Headings for Archival Collections ” (University of Miami Libraries, January 2013). 

Genre/Form Terms

Collections

forthcoming.

Digital Material

For Use in All Collections with Digital Material

For collections containing any digital materials, one or both of the following genre/form terms should be used at the collection level as applicable. For collections where the bulk of digital material falls into a particular format, more granular terms can be used. These subject terms may also be applied at the series level where applicable. 

 

...

Term

...

Definition

...

Source

...

Authority ID

...

born digital

...

Describes material or content created in electronic form and saved as digital data, having had no initial or interstitial state as an analog or physical product. Usually used to refer to electronically produced drafts of text, correspondence or visual works such as photographs created with digital cameras. This material may be written or saved on personal computers, floppy disks, CDs, DVDs, hard drives, or any mode of digital storage media.

...

AAT

...

300374824

...

electronic reproductions

...

Reproductions of images, books, or other intellectual property in electronic form, such as for online viewing.

...

AAT

...

300263434

 

Additional Terms That May Be Used

This list is neither comprehensive nor exhaustive. Additional terms may be used when deemed appropriate. Only use additional genre/form terms to describe predominant formats in the collection. Use genre terms that are not format specific when a collection contains multiple forms. For example, use correspondence unless the predominant form of correspondence in a collection comprises electronic mail.

 

 

...

Term

...

Definition

...

Source

...

Authority ID

...

In ASpace?

...

audiobooks

...

Literary works recorded on audio media and distributed commercially. 

...

AAT

...

300266747

...

FALSE

...

blogs

...

Short for 'Web logs' or 'weblogs:' a Web site that functions as an online journal or diary, most often maintained by a single person, but also by groups with common interests. Commentary, images, sound, or video files are posted regularly with the most recent entry appearing first. Blogs may focus on a particular area of interest and contain links to content on external Web pages.

...

AAT

...

300265722

...

TRUE

...

computer-aided designs (visual works)

...

Visual works that were computer-aided in creation, depicting architecture, landscape design, cities, transportation infrastructure, engineering projects, automobiles, computer chips, or other objects of any size.

...

AAT

...

300418056

...

TRUE

...

databases

...

Structured sets of data held in computer storage, especially those that incorporate software to make them accessible in a variety of ways. A database is used to store, query, and retrieve information, typically comprising a logical collection of interrelated information that is managed as a unit, stored in machine-readable form, and organized and structured as records that are presented in a standardized format in order to allow rapid search and retrieval by a computer.

...

AAT

...

300028543

...

TRUE

...

digital art (visual works)

...

Visual works created or modified using a computer or other digital medium. These products are exhibited in a variety of ways: statically or as interactive concepts that may reveal or obscure their computer origins. For works that use computer machinery intrinsically as a part of the work, use "computer art."

...

AAT

...

300386810.

...

TRUE

...

digital media

...

Media containing any content that is represented in digital form, meaning it is encoded in an electronic format that uses a series of discrete values (commonly the numbers 0 and 1) to record data and render it machine-readable. Digital media include, but are not limited to, digital audio and video tape, floppy discs, and portable hard drives.

...

AAT

...

300404198

...

TRUE

...

digital photographs

...

Photographs created with a digital camera, which is a cameras that acquires still or motion pictures via an electronic sensor and stores them as digital information on a memory device.

...

AAT

...

300417379

...

TRUE

...

electronic mail

...

Communication by means of a system that allows computer users to exchange messages in electronic format on a network, often but not always comprising messages from one individual to one or many others via telecommunications links between computers or terminals.

...

AAT

...

300149026

...

TRUE

...

electronic publications

...

Publications in electronic formats, including magazines, books, Web sites, databases, and other materials.

...

AAT

...

300438574

...

TRUE

...

electronic records (digital records)

...

Compilations of recorded information, often standardized in format and content and treated as a unit, that are machine readable and created, modified, stored, retrieved, and distributed by digital means. Although analog data is also electronic, this concept does not typically include analog data.

...

AAT

...

300379790

...

TRUE

...

emulated devices

...

Emulated devices are software that allows a computer to simulate other devices and operating systems.

...

Local

...

TRUE

...

folksonomies

...

A user-generated system of classifying and organizing online content into different categories by the use of metadata such as electronic tags. Folksonomies are generally characterized by non-standard, idiosyncratic social tagging. They are not necessarily the result of a collaborative effort, but are usually the compilation of personal tagging of content by individuals.

...

AAT

...

300266743

...

TRUE

...

geospatial data

...

Information gathered and used for analysis pertaining to the geographic location and characteristics of natural or constructed features and boundaries on, above, or below the earth’s surface

...

AAT

...

300380194

...

FALSE

...

social media

...

Refers to tools, usually a combination of software and database accessible through the World Wide Web, which enable persistent computer-mediated relationships that encompass social networking, blogs, wikis, and social or collaborative tagging. For specific activities that use social media, use relevant terms such as "social networking."

...

AAT

...

300312269

...

TRUE

...

software

...

Computer system programs, procedures, and associated documentation concerned with the operation of data processing systems, and which require hardware for use to be made of them. For individual collections or sequences of code provided by a user to perform a particular task, use "programs." For programs that serve a particular purpose and that may be packaged and sold by a manufacturer use "applications."

...

AAT

...

300028566

...

TRUE

...

text messages

...

Written messages that are transmitted electronically, typically restricted to short, keyed messages sent from one mobile phone to another or via the Internet.

...

AAT

...

300404376

...

FALSE

...

web sites

...

A group of World Wide Web pages usually associated with a particular subject and connected via hyperlinks, made available online by an institution, company, government, or other organization.

...

AAT

...

300265431

...

TRUE

...

webcomics

...

Comics having a primary or only published format on a Web site.

...

AAT

...

300312095

...